Senior Compliance Officer

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Senior Compliance Officer

senior · Risk & Compliance

Job Description

What is the opportunity?

This is an exciting opportunity to join our dynamic RBC BlueBay Compliance Advisory UK team as a Senior Compliance Officer, where you will play a vital role in providing expert compliance advice, managing regulatory risks, and driving key business initiatives. In this pivotal position, you will ensure RBC BlueBay’s adherence to regulatory requirements while actively contributing to the firm’s success. This is a unique opportunity to thrive in a collaborative environment and make a meaningful impact on both the organization and your professional growth.

What will you do?

• Provide expert regulatory advice UK/EU UCITS and Alternatives funds.

• Provide expert regulatory advice on US 40 Act Funds.

• Support the compliance team in maintaining the Restricted List of issuers on which BlueBay may hold inside information, including managing wall-crossing, pre-sounding of new issues, review of Investment Management Agreements and Confidentiality Agreements.

• Complete periodic compliance certifications for clients in accordance with IMA reporting obligations.

• Conduct conflict checks on potential investment opportunities and escalate identified conflicts to the line manager for discussion and resolution.

• Provide advice on ESG, Responsible Investment and Taxonomy matters.

• Drive the alignment and integration with enterprise standards.

• Drive efficiencies and enhancements to existing Compliance controls and framework.

• Development, review and maintenance of robust Compliance Policies and Procedures for RBC BlueBay UK.

• Assist with the delivery of Compliance Management Information for periodic reports to the Board and Committees.

• Provide ongoing support to maintain the accuracy of RCM for the business areas covered and contributing to compliance risk assessments.

• Conduct Compliance Monitoring of business areas covered as required.

• Provide advice on general queries relating to Requests For Proposals and ensure the standard responses covering the Compliance department are up-to-date.

• Develop a training program and conduct compliance training to support business awareness and understanding of firm and regulatory standards.

• Participate in business projects and enterprise initiatives, offering compliance guidance.

• Support the compliance central teams with the delivery of testing and surveillance escalation and policy breaches closure.

• Monitor and manage compliance risks, ensuring adherence to regulatory requirements.

• Develop and maintain strong relationships with internal stakeholders.

• Proactively identify and address regulatory and reputational risks.

What do you need to succeed?

Must-have

• Expertise in UK, EU and US regulations relevant to asset management.

• Expertise in the investment fund industry, including proven experience with UCITS and Alternative products.

• Strong knowledge of investment compliance, including investment borrowing limits, portfolio compliance monitoring, and fund restriction management.

• Demonstrable experience with conflicts clearance processes and managing conflicts of interest in an investment management environment.

• Proven experience with wall-crossing procedures, managing restricted lists, and handling material non-public information in accordance with market abuse regulations.Expertise in UK/EU regulatory environments, and FCA Handbook rules.

• Minimum of 5 years of experience in a role requiring knowledge of UK, EU and SEC regulation and legislation applicable to Asset Management.

• Excellent attention to detail and organizational abilities.

• Strong work ethic, positive, pro-active and adaptable attitude.

• Strong interpersonal and communication skills.

• Ability to work under pressure and meet deadlines.

• Strong team and growth mindset, with proven ability to collaborate effectively with relevant stakeholders.

Nice-to-have

• Experience of ESG Requirements and Standards.

• Commitment to professional development and continuous learning.

What is in it for you?

We thrive on the challenge to be our best - progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper.  We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual.

• A comprehensive Total Rewards Program including bonuses, flexible benefits and competitive compensation

• Leaders who support your development through coaching and managing opportunities

• Opportunities to work with the best in the field

• Ability to make a difference and lasting impact

• Work in a dynamic, collaborative, progressive, and high-performing team

• A world-class training program in financial services

• Flexible working options fully supported.

Agency Notice

RBC Group does not accept agency resumés.  Please do not forward resumés to our employees, nor any other company location.  RBC Group only pay fees to agencies where they have entered into a prior agreement to do so and in any event do not pay fees related to unsolicited resumés. Please contact the Recruitment function for additional details.

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Note: Applications will be accepted until 11:59 PM on the day prior to the application deadline date above

Our Employment Opportunities

At RBC, we are guided by living shared values of Client First, Integrity, Collaboration, Respect and Excellence and winning together as One RBC. We believe an inclusive workplace that has diverse perspectives is core to our continued growth as one of the largest and most successful banks in the world. Maintaining a workplace where our employees feel supported to perform at their best, effectively collaborate, drive innovation, and grow professionally helps to bring our Purpose to life and create value for our clients and communities. RBC strives to deliver this through policies and programs intended to foster a workplace based on respect, belonging and opportunity for all.

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RBC is presently inviting candidates to apply for this existing vacancy. Applying to this posting allows you to express your interest in this current career opportunity at RBC. Qualified applicants may be contacted to review their resume in more detail.